THE RAILWAYS (ACCIDENT INVESTIGATION AND REPORTING) REGULATIONS

THE RAILWAYS ACT [ No. 4 OF 2002] REGULATIONS Made under section 28 THE RAILWAYS (ACCIDENT INVESTIGATION AND REPORTING) REGULATIONS

THE RAILWAYS ACT [ No. 4 OF 2002] REGULATIONS Made under section 28 THE RAILWAYS (ACCIDENT INVESTIGATION AND REPORTING) REGULATIONS, 2006 ARRANGEMENT OF REGULATIONS PART I: PRELIMINARY PROVISIONS 1 2 Citation and Commencement Interpretation PART II: ACCIDENT INVESTIGATION AND REPORTING 3 4 5 6 7 8 9 10 11 12 13 14 15 1 st Schedule 2 nd Schedule Accidents and Incidents to be reported to Conduct of Investigations and Inquiry Persons conducting, participating in or assisting with an investigation by the Chief Inspector of Railway Safety Access to the site of an accident or incident earmarked for investigation by the Chief Inspector of Railway Safety Preservation of evidence Use of evidence Disclosure of evidence Reports of accidents and incidents investigated by the Chief Inspector of Railway Safety Recommendations of the Authority Duty of the Authority to consider representations Miscellaneous functions Offences Appeals SCHEDULES Basic content of an accident and incident investigation report Notification Form 1

THE RAILWAYS ACT (NO. 4 OF 2002) REGULATIONS Made under section 28 THE RAILWAYS (ACCIDENT INVESTIGATION AND REPORTING) REGULATIONS PART 1: PRELIMINARY PROVISIONS Citation and Commencement 1.(1)These Regulations may be cited as the Railways (Accident Investigation and Reporting) Regulations 2006. (2)These Regulations shall come into effect on the date of publication in the Gazette. Interpretation 2. In these Regulations unless the context requires otherwise: "accident" means an unwanted or unintended sudden event or a specific chain of such events which have harmful consequences "causes" means actions, omissions, events or conditions, or a combination thereof, which led to the accident or incident Chief Inspector of Railway Safety means the person appointed under section 32 of the Act "damage" means a condition that prevents an item concerned being used for its intended purpose "extensive damage" means damage that can immediately be assessed to cost not less than 1 billion Tanzanian shillings in total "evidence" means anything involved in or relating to an accident or incident, whether at the site of the accident or incident or remote from it, including: (a) written, electronic, photographic or other records, (b) electronic or recording equipment, (c) rolling stock, infrastructure, equipment and signalling systems, (d) any personal, personnel, medical or other similar record 2

or document, and (e) anything else that an inspector identifies to: (i) a railway operator; or (ii) an owner of railway property, or (iii) a manufacturer or supplier of equipment, components or services to a railway operator; or an owner of railway property, as being relevant to the accident or incident. "incident" means any occurrence, other than accident or serious accident, associated with the operation of trains and/or affecting the safety of operation "inspector" means a person to whom the Chief Inspector of Railway Safety has delegated his functions as provided for under section 34(2) of the Act "investigation" means a process conducted for the purpose of accident and incident prevention which includes the gathering and analysis of information, the drawing of conclusions, including the determination of causes and, when appropriate, the making of safety recommendations "level crossing" means any place where a railway crosses on a level a highway or other road or passageway, whether or not there is public access to such land Minister means the Minister for the time being responsible for railway transport "operator", in relation to any railway asset, means the person having the management of that railway asset for the time being railway operator means any person managing railway infrastructure or providing rail transport services railway property means railway vehicles and infrastructure "rolling stock" means any carriage, wagon or other vehicle used on track and includes a locomotive, "running line" means a railway line which is not a siding and is ordinarily used for the passage of trains, "serious accident" means an accident which has an obvious impact on railway safety regulation or management of safety and includes such an accident that results in: (a) the death of a person, (b) serious injuries to five or more persons, or (c) extensive damage to rolling stock, the infrastructure or the environment. (d) interruption of through communication for more than 3

twenty four hours. serious injury means an injury requiring admittance to hospital for more than 24 hours, "staff", in relation to notification reporting, means a person engaged in work for the railway operator where such work was connected with the operation of the railway or railway property involved in the accident or incident at the time of its occurrence. the Act means the Railways Act, 2002 the Authority means The Surface and Marine Transport Regulatory Authority being the body established under section 4 of the Surface and Marine Transport Regulatory Authority Act (No 9 of 2001) "train" means: (a) two or more items of rolling stock coupled together, at least one of which is a locomotive, or (b) a locomotive not coupled to any other rolling stock. (c ) a heavy motor trolley. PART II: ACCIDENT AND INCIDENTS INVESTIGATION AND REPORTING Accidents and incidents reportable to Chief Inspector of Railway Safety. 3(1)Accidents shall be divided into the following categories: collisions, derailments, level-crossing accidents, accidents to persons caused by rolling stock in motion, fires and others (2) A railway operator shall, immediately and by the quickest means available, notify the Chief Inspector of Railway Safety all serious accidents. (3) In the case of an accident involving loss of life or serious injury to any person, a railway operator shall cause the matter to be reported to a police station nearest to the scene of accident. (4) Where staff or property of a railway operator have in any month been involved in an accidents, other than those categorised as serious, the railway operator shall notify the Chief Inspector of Railway Safety of every such occurrence during that month not later than 10 days after the end of the month and in accordance with sub-regulation (8). (5) The duty to notify the Chief Inspector of Railway Safety of an accident or incident involving the death or serious injury of a person shall not arise where the railway operator reasonably believes that: 4

(a) the death or serious injury of that person was a result of natural causes, assault, suicide or attempted suicide, (b) the accident or incident: or (i) caused the death of or serious injury to a member of staff on duty, or (ii) did not involve the movement of rolling stock. (c) the accident or incident caused the death or serious injury of a person who at the time of the accident or incident was on railway property involved in the accident or incident without lawful authority. (6) A notification given under sub-regulation 3(2) shall contain as much of the following information relating to the accident or incident as the railway operator is reasonably able to provide at the time of the notification: (a) the name of the railway operator whose property is involved in the accident or incident, (b) the date and time of the accident or incident, (c) the geographical position of the accident or incident and the nearest point of access to that position, (d) the point of departure and intended destination of any rolling stock involved in the accident or incident, (e) brief details of the accident or incident and the sequence of events leading to it, (f) the names and roles of staff with responsibility for the movement of rolling stock involved in the accident or incident, (g) in the case of an accident, an estimate of the number of people seriously or fatally injured, (h) the number of passengers on board any rolling stock involved at the time of the accident or incident, (i) the number of crew on board the rolling stock involved at the time of the accident or incident, (j) the vehicle numbers and type of any rolling stock involved, (k) the extent of damage caused to any railway, railway property or the environment by the accident or incident, (l) the type, and an estimate of the quantity, of any dangerous goods on board the rolling stock involved at the time of the accident or incident, (m) the weather conditions at the time of the accident or 5

Conduct of Investigations & Inquiries incident, (n) details of any emergency service attending the site of the accident or incident, and (o) contact details of the person in command or control of the accident or incident site. (7) The railway operator who notifies the Chief Inspector of Railway Safety in accordance with sub-regulation 3(2) shall provide: (a) as and when available after the notification, such of the information referred to in sub-regulation 3(6) that it has not supplied at the time of notification, and (b) within such time as the Chief Inspector of Railway Safety specifies, such further information about the accident or incident as he may reasonably require. (8) A notification referred to in sub-regulation 3(4) shall contain a list of every occurrence during the month in question and shall specify the date, time and place of each occurrence. (9) Where the railway operator does not know the extent of a person's injuries, he shall regard that person as having suffered a serious injury if: (a) that person has been removed from the site of the accident or incident to a hospital and (b) the railway operator suspects that the person has sustained a serious injury. 4.(1) (a) Railway accidents shall be investigated internally by railway operator and results reported to the Chief Inspector of Railway Safety within two months after occurrence of the accident, (b) subject to sub-regulations 4(2) and (3) selected accidents and incidents will be investigated by the Chief Inspector of Railway Safety, and (c) in any case the Minister may order an inquiry with regard to any accident or incident. (2) The Chief Inspector of Railway Safety shall make the necessary arrangements to investigate selected accidents or incidents: (a) where the accident is a serious accident, or (b) where it is not a serious accident but is an accident or incident with high potential for harm. (3) In determining whether the Chief Inspector of Railway Safety should make an investigation under sub-regulation 4(2)(b) the following considerations shall be taken into account: 6

Persons conducting, participating in or assisting with an investigation by Chief Inspector of Railway Safety (a) the seriousness of the accident or incident, (b) whether it forms part of a series of accidents or incidents, (c) its impact on railway safety, (d) requests from a railway operator, an owner of railway property, or a manufacturer or supplier of equipment, components or services to a railway operator or an owner of railway property, whose property or staff have been involved in the accident or incident being investigated, (e) the extent to which an investigation will improve the safety of railways and prevent accidents and incidents, and (f) any other matter that the Chief Inspector of Railway Safety considers to be reasonable in the circumstances. (4) During the course of investigation, the Chief Inspector of Railway Safety shall, so far as is reasonably practicable, take into account any information relating to the accident/incident expressed by any party. (5) The Chief Inspector of Railway Safety shall determine the extent of, and the procedure to be followed in carrying out, an investigation conducted by him or by a person appointed pursuant to regulation 5(1). (6) The Chief Inspector of Railway Safety shall conclude his examination at the site of an accident or incident in the shortest possible time in order to enable the infrastructure that is closed as a result of the accident or incident to be restored and opened to railway services as soon as possible. (7) The Chief Inspector of Railway Safety may discontinue an investigation conducted by him at any time and shall publish his reasons for doing so. (8) The Chief Inspector of Railway Safety may undertake an investigation into the circumstances of an accident or incident where he has previously determined that no investigation will be conducted. 5. (1) The Chief Inspector of Railway Safety may appoint any suitably qualified person to conduct or participate in an investigation by him as provided for under section 34(2) of the Act. (2) A person appointed under sub-regulation 5(1) may exercise such powers of an inspector as are necessary to enable him to perform his functions under the terms of his appointment. (3) In relation to an investigation of an accident or incident being conducted, the Chief Inspector of Railway Safety may: (a) request assistance from any public body, or any other 7

Access to the site of an accident or incident earmarked for investigation by Chief Inspector of Railway Safety person acting under a power conferred on him by any law, (b) request assistance from a person other than a person mentioned in sub-regulation 5(3)(a) at such times and in such manner as he may reasonably determine. (4) Where the Chief Inspector of Railway Safety reasonably requests assistance from a person referred to in sub-regulation 5(3)(b), that person shall assist him. (5) The Authority may pay reasonable reward to a person who assists it in pursuance of the provisions of sub-regulation 5(3). 6. (1) Subject to sub-regulation 6(2), no person other than an inspector or a person appointed under sub-regulation 5(1) shall: (a) have access to the site of an accident or incident earmarked for investigation by Chief Inspector of Railway Safety, including the rolling stock, infrastructure or traffic control and signalling systems involved in such accident or incident, or (b) remove from or interfere with, or cause to be removed from or interfered with, anything at the site of an accident or incident earmarked for investigation by the Chief Inspector of Railway Safety without his consent and until such time as he has concluded his examination or removal of evidence at the site or determined that he will not conduct an investigation. (2) A person may have access to, or remove anything described in sub-regulation 6(1), only in so far as may be necessary for the purpose of: (a) saving life or preventing further injury or suffering, (b) preventing further damage or destruction, (c) preventing danger, including from dangerous goods, (d) protecting the site. (3) Where a person intends to enter a site referred to in subregulation 6(1) in exercise of a power conferred on him by an enactment: (a) he shall, where practicable, notify an inspector of his intention to do so, together with details of any action he proposes to take while on the site, and (b) where it is not practicable to notify an inspector in accordance with sub sub-regulation (a), he shall inform an inspector as soon as practicable after he has entered the site and provide details of any action he has taken while on the site. (4) In determining whether it is practicable to notify an 8

Preservation of evidence inspector under sub-regulation 6(3)(a) a person intending to enter a site referred to in sub-regulation 6(1) shall have regard to whether the delay that would occur by giving such notification would, or would be likely to, affect adversely the result sought to be obtained from the exercise of his power. (5) Where an inspector receives notification of action proposed by a person referred to in sub-regulation 6(3) and a question arises as to the desirability of the proposed action to be taken, the inspector shall refer the question without delay to the Chief Inspector of Railway Safety or an inspector acting on behalf of Chief Inspector of Railway Safety for determination pursuant to section 34(2) of the Act. 7 (1) For the purpose of conducting an investigation into an accident or incident in the most efficient way and within the shortest time, an inspector may, where appropriate, in cooperation with any person acting in exercise of a power conferred on him by an enactment, require any person to supply a list of all evidence relating to the accident or incident which is within his possession or control. (2) Subject to sub-regulation 7(3) any person acting in exercise of a power conferred on him by an enactment who is investigating an accident or incident shall, (a) preserve any evidence that he obtains in the course of his investigation, (b) where practicable, notify an inspector of his intention to collect, examine or analyse evidence, or interview a witness, (c) where it is not practicable to notify an inspector in accordance with sub-regulation 7(2)(b), inform an inspector as soon as practicable after he has taken that action, (d) provide to Chief Inspector of Railway Safety details of the action he has taken, (e) provide to Chief Inspector of Railway Safety a list of the evidence that he has taken, and (f) upon request by Chief Inspector of Railway Safety, provide access to or copies of any evidence he has taken or information he has obtained in the course of his investigation. (3) Sub-regulation 7(2) shall apply until such time as the Chief Inspector of Railway Safety has concluded his investigation and no longer requires the evidence referred to in subregulation 7(2) or has determined that he will not conduct an investigation. (4) In determining whether it is practicable to notify an inspector under sub-regulation 7(2)(b) a person intending to 9

Use of evidence collect, examine or analyse evidence or interview a witness for his investigation pursuant to sub-regulation 7(2)(b) shall have regard to whether the delay that would occur by giving such notification would, or would be likely to, adversely affect the result sought to be obtained from the exercise of his power. (5) Where an inspector receives notification of action proposed by a person referred to in sub-regulation 7(2) and a question arises as to the desirability of the proposed action, the inspector shall refer the question without delay to the Chief Inspector of Railway Safety or an inspector acting on behalf of the Chief Inspector of Railway Safety for determination pursuant to section 34(2) of the Act. (6) A railway operator, an owner of railway property, a manufacturer or a supplier of equipment, components or services to a railway operator or an owner of railway property, whose property or staff have been involved in the accident or incident being investigated shall preserve all evidence over which he has control and: (a) which is, or which he reasonably considers may be, relevant to an accident or incident earmarked for investigation by Chief Inspector of Railway Safety, or (b) that Chief Inspector of Railway Safety directs him to preserve, until he has concluded his investigation, no longer requires the evidence or has determined that he will not conduct an investigation. 8 (1) Subject to sub-regulations 7(2) and (3), a railway operator, an owner of railway property, or a manufacturer or supplier of equipment, components or services to a railway operator or an owner of railway property, whose property or staff have been involved in the accident or incident being investigated shall not move or use any item that can form part of evidence, or may become relevant to an investigation by Chief Inspector of Railway Safety, except where it is necessary to do so for the purpose of: (a) saving life or preventing further injury or suffering, (b) preventing further damage or destruction, (c) preventing danger, including from dangerous goods, or (d) protecting the site, until Chief Inspector of Railway Safety has concluded his investigation, no longer requires the evidence or has determined that he will not conduct an investigation. (2) A railway operator, an owner of railway property, or a manufacturer or supplier of equipment, components or services to a railway operator or an owner of railway property, 10

whose property or staff have been involved in the accident or incident being investigated, may with the consent of Chief Inspector of Railway Safety, move or use items that shall form part of evidence relating to an accident or incident earmarked for investigation provided that he retains a record of the condition, position and location of the evidence before it was moved or used, and supplies that record on demand to Chief Inspector of Railway Safety. (3) Subject to sub-regulation 8(5), in the course of an investigation into an accident or incident, an inspector or a person appointed under regulation 5(1) may, for the purpose of examining or analysing an article, dismantle or alter the composition of it, whether or not such dismantling or altering has the effect of destroying it. (4) Where an inspector or a person appointed under regulation 5(1) decides to dismantle or alter the composition of an article under sub-regulation (3), and has reason to believe that any person exercising a power conferred on him under any law, would be entitled to analyse or examine that article for the purpose of his own investigation into that accident or incident, that person shall: (a) before commencing such dismantling or alteration, give notice to each of those persons of his intention to do so, (b) permit those persons to be present during such examination or analysis, (c) consider any reasonable representations those persons may make as to the impact such dismantling or alteration may have on their own investigation, and (d) provide those persons with access to all records and reports relating to the examination or analysis. (5) Where an inspector or a person appointed under subregulation 5(1) considers that it would not be detrimental to an investigation he may: (a) inform a person of his intention to analyse or examine an article, or (b) permit a person to be present during the analysis or examination. (6) A person other than a person referred to in sub-regulation (5) of regulation 8 whom the Chief Inspector of Railway Safety allows to be present during an analysis or examination shall not disclose to anyone except a person acting under a power conferred on him by law, any information he obtains in connection with that analysis or examination without the 11

Disclosure of evidence Reports of accidents and incidents investigated by Chief Inspector of Railway Safety consent of the Chief Inspector of Railway Safety..(7) The Chief Inspector of Railway Safety shall release to any person exercising a power conferred on him by an enactment, any evidence that he no longer requires, where: (a) he has reason to believe that that person would be entitled to collect that evidence for the purpose of his own investigation, (b) that evidence: (i) is not prohibited from being disclosed by subregulation 9(2) or any other enactment, or (ii) is not evidence to which sub-regulation 9(3) applies. (8) Chief Inspector of Railway Safety shall release to its owner evidence that he no longer requires for the purposes of the investigation for which it was obtained, and which he is not required to release to a person referred to in sub-regulation (7) provided that before he does so he shall consult with any person known to him to be leading an investigation under statutory or legal powers into the accident or incident in respect of which the evidence was obtained. (9) Where evidence is released to the owner pursuant to subregulation (8), the owner shall be responsible for the storage, destruction or disposal of it from the date of its release. (10) Before releasing the items of evidence under subregulations (7) or (8) the Chief Inspector of Railway Safety shall give seven days notice of his intention to do so to the intended recipient of such evidence. The items shall be released to the Railway Operator for appropriate action. 9. (1) The Authority shall not be obliged to disclose any evidence received in the course of an accident investigation. (2) A person who assists the Chief Inspector of Railway Safety in any investigation shall not disclose to anyone the evidence so given. 10.(1) The Authority may at any time provide a final or interim report, advice, recommendations or information relating to an accident or incident to such persons, and in such form and in such manner, as the Chief Inspector of Railway Safety considers appropriate in the circumstances, taking account of: (a) the nature and seriousness of the accident or incident, (b) the speed at which the report, advice, recommendations or information needs to be given or acted upon, (c) the stage which the investigation has reached, and (d) the relevance or importance of the examination or 12

Recommendations by the Authority Duty of the Authority to consider representations investigation findings. (2) Upon the conclusion of an investigation conducted by Chief Inspector of Railway Safety into accidents or incidents of a type described in sub-regulation 4(2) the Authority shall report to the Minister and publish a final report: (a) in the shortest time and not later than four months after the date of the occurrence, and (b) shall include in it such of the information described in the First Schedule as is relevant to the accident or incident. (3) Upon the conclusion of an investigation conducted by Chief Inspector of Railway Safety, other than one to which subregulation 4(2) applies, the Authority shall report to the Minister and publish a report in such form as may be determined by the Chief Inspector of Railway Safety (4) A report published under this regulation may relate to more than one accident or incident. 11. (1) The Authority shall address a recommendation contained in a report prepared under regulation 10 to the railway operator copied to the Minister. (2) The railway operator to whom a recommendation is addressed shall, in relation to that recommendation: (a) ensure that the recommendation is duly taken into consideration and where appropriate acted upon, (b) report to the Authority without undue delay or within such other period, not exceeding twelve months, as may be agreed with the Chief Inspector of Railway Safety: (i) giving full details of any measure taken to implement the recommendation, (ii) giving full details of any proposed measure to implement the recommendation and the proposed timetable for securing that implementation, or (iii) giving a full explanation as to why the recommendation cannot be acted upon, and (c) notify the Authority if at any time the information provided to the Authority pursuant to sub-regulation (b) is rendered inaccurate. 12. (1) Before publishing a report under sub-regulations 10(2) or 10(3) the Authority may seek clarification from any party who is likely to be affected by the report on any issue. (3) A person so consulted may make representations in response to the report within fourteen days from service of the notice or within such longer period as may be determined by 13

Miscellaneous functions the CIRS. (4) The Authority shall consider any representations it receives under clause (3) and may amend the report in consequence of any such representation. (5) A person to whom a report or part of a report has been supplied under clause sub-regulation (1) shall not disclose its contents without the permission of the the Authority. 13. (1) The Authority may conduct studies into, monitor and analyse any matter it considers may be relevant to the effective investigation of accidents or incidents including: (a) the responses of those persons to whom the recommendations of the Authority are addressed, (b) technological and other developments, and (c) statistics and trends relating to the railway industry including those relating to accidents and incidents. (2) In order to assist the Authority in carrying out the activities described in sub-regulation(1), the Chief Inspector of Railway Safety may request assistance or information from any public body, or any person exercising a power conferred on him by law, or accident investigating bodies of other countries. (3) The Authority may arrange for publication of the study or the analysis in such form and in such manner as it considers appropriate. (4) The Authority shall use its best endeavours to conduct an active exchange of information with accident investigating bodies within Tanzania or other countries for the purpose of : (a) developing common investigation methods, (b) drawing up common principles for the follow-up of safety recommendations, or (c) adapting to the development of technical and scientific progress. Offences 14. (1)Any Person who: (a) being a railway operator, fails to report an accident in the manner prescribed in regulation 3, (b) fails to assist the Chief Inspector of Railway Safety when required to do so in accordance with regulation 5(4), (c) unlawfully enters the site of accident or otherwise interferes or causes interference of evidence for an accident contrary to regulation 6, (d) fails to preserve evidence which is, or which he 14

Appeals reasonably considers may be, relevant to an accident or incident earmarked for investigation by Chief Inspector of Railway Safety or that Chief Inspector of Railway Safety directs him to preserve, contrary to regulation 7, (e) moves or uses evidence relevant to an investigation by Chief Inspector of Railway Safety in contravention of regulation 8(1), (f) discloses evidence in contravention of regulation 9, (g) fails to comply with regulation 11 on recommendations by the Authority, (h) discloses the contents of a report before it is made public, (i) obstructs or hinders the Chief Inspector of Railway Safety or any other person appointed under the Act and these regulations from doing his duties, or (j) otherwise acts in contravention of these regulations, commits an offence and shall be liable to a fine of not less than US$ fifty or its equivalent in Tanzanian shillings and not exceeding US$ twenty thousand or its equivalent in Tanzanian shillings. (2) The Authority shall give the person thirty days written notice with reasons of the intended fine during which the person shall have an opportunity to make representations. (3) Where the Authority is satisfied that the reasons are not acceptable it shall impose the fine or other sanction on the offender.. 15. Any person who is aggrieved by the decision of the Authority made under these Regulations may lodge a complaint or seek review or appeal in accordance with part IV of the Surface and Marine Transport Regulatory Authority Act, 2001 Dar es Salaam,., 2006. Andrew Chenge (MP) Minister for Infrastructure Development 15

FIRST SCHEDULE BASIC CONTENT OF AN ACCIDENT AND INCIDENT INVESTIGATION REPORT 1. SUMMARY The summary shall contain a short description of the occurrence, when and where it took place and its consequences. It shall state the direct causes as well as contributing factors and underlying causes established by the investigation. The main recommendations shall be quoted and information shall be given on the addressees. 2. IMMEDIATE FACTS OF THE OCCURRENCE (1) The occurrence: date, exact time and location of the occurrence, description of the events and the accident site including the efforts of the rescue and emergency services, the decision to establish an investigation, the composition of the team of investigators and the conduct of the investigation. (2) The background to the occurrence: staff and contractors involved and other parties and witnesses, the trains and their composition including the registration numbers of the items of rolling stock involved, the description of the infrastructure and signalling system - track types, switches, interlocking, signals, train protection, means of communication, works carried out at or in the vicinity of the site, trigger of the railway emergency plan and its chain of events, trigger of the emergency plan of the public rescue services, the police and the medical services and its chain of events. (3) Fatalities, injuries and material damage: Passengers and third parties, staff, including contractors, cargo, luggage and other property, rolling stock, infrastructure and the environment. (4) External circumstances: weather conditions and geographical references. 3. RECORD OF INVESTIGATIONS AND INQUIRIES (1) Summary of testimonies (subject to the protection of identity of the persons): railway staff, including contractors, other witnesses. (2) The safety plan: 16

the framework organisation and how orders are given and carried out, requirements on staff and how they are enforced, routines for internal checks and audits and their results, interface between different actors involved with the infrastructure. (3) Rules and regulations: relevant community and national rules and regulations, other rules such as operating rules, local instructions, staff requirements, maintenance prescriptions and applicable standards. (4) Functioning of rolling stock and technical installations: signalling and control command system, including registration from automatic data recorders, infrastructure, communication equipment, rolling stock,,including registration from automatic data recorders. (5) Documentation on the operating system: Measures taken by staff for traffic control and signalling, exchange of verbal messages in connection with the occurrence, including documentation from recordings, measures taken to protect and safeguard the site of the occurrence. (6) Man-machine-organisation interface: Working time applied to the staff involved, medical and personal circumstances with influence on the occurrence, including existence of physical or psychological stress, design of equipment with impact on man-machine interface. (7) Previous occurrences of a similar character. 4. ANALYSIS AND CONCLUSIONS (1) Final account of the event chain: establishing the conclusions on the occurrence, based on the facts established in heading (3) (2) Discussion: Analysis of the facts established in heading (3) with the aim of drawing conclusions as to the causes of the occurrence and the performance of the rescue services. (2) Conclusions: Direct and immediate causes of the occurrence including contributory factors relating to actions taken by persons involved or the condition of rolling stock or technical installations, underlying causes relating to skills, procedures and maintenance. (4) Additional observations: 17

deficiencies and shortcomings established during the investigation, but without relevance to the conclusions on causes. (5) Measures that have been taken: Record of measures already taken or adopted as a consequence of the occurrence. (6) Recommendations. 18

Accident or Incident Reporting Form SECOND SCHEDULE ACCIDENT NOTIFICATION FORM This form may be used for written follow up notifications under regulation 3(2) after immediate notification has been made by telephone Name of Operator making the Notification: Contact details for person completing this form Name Address: E-mail address: Telephone Number: About the accident On what date did the accident happen? At what time did the accident happen? (Please use the 24 hour clock eg 0600) What were the weather conditions at the time? (brief details where relevant) Location of the accident and the nearest point of access: Names and roles of any staff with responsibility for movement of the relevant rolling stock involved in the accident or incident: CASUALITIES Passengers Crew Others Numbers of people fatally injured: Number of people seriously injured: Names of any other persons/organisations whose property has been involved in the accident or incident: Number of passengers on board any rolling stock involved, at the time of the accident or incident: Number of crew on board the rolling stock involved at the time of the accident: Contact details for the person in command or control of the accident or incident site Name: Position: 19

Telephone number: Details of any emergency service attending the accident or incident Delays to services What lines were affected? For how long was the route blocked? From To About the train(s) involved in the accident/incident Train 1: What was the train number? What were the time and place of origin? What was the place of destination? What type of train was it? (Give the locomotive and/or unit details where possible) Train 2: What was the train number? What were the time and place of origin? What was the place of destination? What type of train was it? (Give the locomotive and/or unit details where possible) Give the type and an estimate of the quantity of any dangerous goods on board the rolling stock involved at the time of the accident or incident. DESCRIPTION OF THE ACCIDENT Please use a separate sheet of paper to describe the accident. Give as much detail as you can, including: The extent of any damage caused to the railway, railway property or the environment. Brief details of the sequence of events leading to the accident or incident. Signature of person completing form: Date: 20